SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
Bill to Fund States' Anti-Fraud Efforts Up For House Vote
By Melanie WaddellUnder the bill, the SEC would implement a grant program to help states protect older investors.
May 03, 2022
SEC to Nearly Double Crypto Unit"Get ready for an SEC enforcement onslaught," former SEC internet enforcement chief John Reed Stark says.
April 29, 2022
Can Federal Courts Override SEC Enforcement Actions?: SEC RoundupCivil liberties lawyer Peggy Little discusses whether SEC defendants can challenge the SEC's hearing process in court.
April 27, 2022
RIA Busted in SEC 12b-1 Wrap Fee CrackdownHighPoint Advisors recommended no-transaction-fee shares that actually cost clients more, the SEC says.
April 19, 2022
Ex-Morgan Stanley Rep Ran Multimillion-Dollar Ponzi Scheme, SEC SaysThe ex-broker allegedly blew over $800,000 of clients' funds on luxury cars and his credit card payments.
April 15, 2022
Barred Broker's Probation Revoked After Unauthorized Caribbean TripThe former Raymond James and Alliance Global Partners rep had been charged with defrauding at least 100 clients.
April 15, 2022
Ex-UBS Rep Who Spent Client Money on Girlfriends' Gifts Pleads GuiltyThe former broker could spend up to 60 years in prison.
April 15, 2022
FinCEN Wants You to Help Fight Foreign KleptocratsThe reporting rules include individual annuity and individual permanent life transactions.